DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

STONEFIELD INVESTMENT ADVISORY, INC.

CRD 113802

CEDAR RAPIDS, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:64a7df5b-5352-dffd-32f3-883b6b521a47

Data as of Jan 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2012 to Jan 27, 2026
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $120MItem 5.F on the latest filing (2026-01-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $120M
Private client RAUM: $108MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $120Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 386
Individual clients: 152
High net worth clients: 29
Custody, client assets: $42.9M
SEC number: 801-134194
CRD: 113802
Filings on the tape: 10
First filed: Jan 5, 2012
Latest filed: Jan 27, 2026
Organised: Corporation, IA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JON ROBERT WERNER	n/a	CEDAR RAPIDS, IA	27	32	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MICKELSON, STEPHEN, ROBERT	CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER	D	yes	11/2005	Jan 5, 2012	May 1, 2012
WERNER, JON, ROBERT	PRESIDENT, CHIEF COMPLIANCE OFFICER	D	yes	11/2005	Jan 5, 2012	May 1, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Moline	IL	United States	n/a	no
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 27, 2026	$120M	$120M	2	1	0	n/a	n/a
2011	Jan 5, 2012	$28.0M	$28.0M	n/a	0	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$120M	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Registered with (12)

← JON ROBERT WERNERAdvisorregistration: current employment
Jul 1, 1999 to presentfactForm ADV
← PATRICK JON MICKELSONAdvisorregistration: previous registration
Dec 19, 2014 to Jun 18, 2021factForm ADV
← STEPHEN ROBERT MICKELSONAdvisorregistration: previous registration
Dec 8, 2005 to May 6, 2021factForm ADV
← SCOTT MICHAEL BRIDGFORDAdvisorregistration: previous registration
Mar 15, 2006 to Nov 29, 2017factForm ADV
← KENT W HENNINGSAdvisorregistration: previous registration
Jun 9, 2008 to Nov 30, 2010factForm ADV
← JOHN WAYNE ARTHURAdvisorregistration: previous registration
Dec 8, 2005 to Jul 10, 2008factForm ADV
← DAVID DANIEL HARKINAdvisorregistration: previous registration
Nov 16, 2006 to Jul 10, 2008factForm ADV
← DUANE M ROTHAdvisorregistration: previous registration
Jul 18, 2007 to Jul 10, 2008factForm ADV
← CHRISTOPHER WAYNE ARTHURAdvisorregistration: previous registration
Oct 10, 2007 to Jul 10, 2008factForm ADV
← MICHAEL WILLMAR FORBROOKAdvisorregistration: previous registration
Jul 12, 2007 to Jul 10, 2008factForm ADV
← BRADLEY JOSEPH BOBBAdvisorregistration: previous registration
Jan 12, 2007 to Mar 12, 2008factForm ADV
← CHARLES DANIEL CURTISAdvisorregistration: previous registration
Jan 18, 2007 to Feb 28, 2008factForm ADV

Controls (2)

← MICKELSON, STEPHEN, ROBERTOwnerCHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, ownership code D, individual
Jan 5, 2012 to May 1, 2012factForm ADV
← WERNER, JON, ROBERTOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 5, 2012 to May 1, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64a7df5b-5352-dffd-32f3-883b6b521a47
First observed: Jan 5, 2012
Last observed: Jan 27, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STONEFIELD INVESTMENT ADVISORY, INC.

CRD 113802

CEDAR RAPIDS, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:64a7df5b-5352-dffd-32f3-883b6b521a47

Data as of Jan 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:40 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JON ROBERT WERNER

n/a

CEDAR RAPIDS, IA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MICKELSON, STEPHEN, ROBERT

CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER

yes

11/2005

Jan 5, 2012

May 1, 2012

WERNER, JON, ROBERT

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

11/2005

Jan 5, 2012

May 1, 2012

City

State

Country

Employees

Also broker-dealer

Moline

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 27, 2026

$120M

n/a

2011

Jan 5, 2012

$28.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$120M

n/a